RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••••• D••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 17, 2021 · New York, Ny
- D•••••• W••••• M••••••••• L•• asset managerJun 5, 2017 to Jun 18, 2021 · St. Petersburg, Fl
- B••••••• C•••••• I••• formerMar 6, 2009 to Sep 10, 2015 · New York, Ny
- L••••• B••••••• I••• unclassifiedOct 31, 2007 to Oct 15, 2008 · New York, Ny
- D•••••• W••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jun 18, 2021, registered Sep 17, 2021 (91 days) · Other
- B••••••• C•••••• I••• to D•••••• W••••• M••••••••• L••left Sep 10, 2015, registered Jun 5, 2017 (634 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Mar 6, 2009 (142 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address